PCAOB Posts New Resources for Auditors of Small Businesses and Broker-Dealers

The Public Company Accounting Oversight Board (PCAOB), following up on its announcement last month that the 2021 Forum for Auditors of Small Businesses and Broker-Dealers would be pre-recorded, today posted resources for the Forum. The video presentations cover the following:

Opening Remarks (PCAOB Acting Chairperson Duane M. DesParte)

Information for Both Auditors of Small Businesses and Auditors of Broker-Dealers

• Office of the Chief Auditor Update (PCAOB Staff)
• Division of Enforcement and Investigations Update (PCAOB Staff)

Information for Auditors of Small Businesses

• Division of Registration and Inspections Update (PCAOB Staff)
• Illustrative Examples for Auditors of Small Businesses (PCAOB Staff)

Information for Auditors of Broker-Dealers

• FINRA Update (FINRA Staff)
• Division of Registration and Inspections Update (PCAOB Staff)
• Illustrative Examples for Auditors of Broker-Dealers (PCAOB Staff)

Note: Continuing professional education credits will not be available for viewers of these presentations. Please contact the PCAOB Office of External Affairs with questions or input.

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About the PCAOB

The PCAOB is a nonprofit corporation established by Congress to oversee the audits of public companies in order to protect investors and further the public interest in the preparation of informative, accurate, and independent audit reports. The PCAOB also oversees the audits of brokers and dealers, including compliance reports filed pursuant to federal securities laws.